FG
Flavio R. Gonzalez
BOLTON SECURITIES
BROWNSVILLE, TX 78520
Some features on this profile are disabled
CRD#: 1657739
FG
Professional summary
Flavio Rafael Gonzalez is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Brownsville, Texas and BOLTON GLOBAL CAPITAL located in Brownsville, Texas.
Flavio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Flavio has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.Co-owner of GMFE group, LLC, doing business under two registered names, 'GEF Financial Group' and/or 'GEF Insurance'. LLC created to operate securities, investment advisory, and insurance businesses. Investment related and conducted from branch location. Management duties take up majority of time during trading hours. 0 hours spent outside of trading hours. 2.Fixed insurance sales conducted under 'GEF Insurance', including employee benefits, health, fixed annuities, and fixed life insurance. Investment related and conducted from branch location. Spends less than 1 hour per month during trading hours on selling products, and 0 hours outside of trading hours per month. 3.IAR of Bolton Global Asset management, doing business as GEF Financial Group. Acting as Managing Director. Investment related and conducted from branch location. Balances this role with branch management duties and selling fixed insurance products. 4. Co-owner of FNB Insurance Group, LLC, entity created 2011 in the state of TX to operate insurance business. For accounting purposes and not investment related. Conducted from Branch location. Does not spend more than 1-hour per month.
CRS (Client Relationship Summary) - RIA
Click below to view Flavio Rafael Gonzalez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Flavio Rafael Gonzalez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 29, 2008 - Present
BOLTON SECURITIES CORPORATION
Office #1: 50 Morrison Rd., Brownsville, TX 78520RIA
BD
CRD#: 129376
BROWNSVILLE, TX
Current
February 29, 2008 - Present
BOLTON GLOBAL CAPITAL
Office #1: 50 West Morrison Rd. Suite B, Brownsville, TX 78520BD
CRD#: 15650
Brownsville, TX
Past
June 9, 1987 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BROWNSVILLE, TX
Past
May 21, 1987 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BROWNSVILLE, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/20/2009)
RR
Georgia(1/24/2011)
RR
Massachusetts(2/1/2013)
RR
New Jersey(7/3/2008)
RR
Ohio(7/15/2010)
RR
Texas(2/29/2008)
IAR
Texas(2/29/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-6947
Established
Delaware since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
154
SEC notice filing (38 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 7,004,872,405 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
